LSU International Services Office
How To Complete Form I-9
for International Employees
and Permanent Residents
A guide for Human Resource Representatives to ensure compliance with
immigration regulations when hiring foreign workers
Loveness Schafer
April 18, 2011
2
C OMPLYING W ITH I-9 R EQUIREMENTS
To comply with I-99 requirements, employees must show proof of identity and work
authorization.. This document explains the most common immigration statuses of aliens
employed at LSU and the immigration documents typically used for II-9
9 purposes.
L EGAL P ERMANENT R ESIDENTS
Permanent resident aliens are also referred to as lawful permanent residents, permanent residents,
resident aliens, or green card holders. Permanent resident aliens have the right to live
permanently in the United States, provided they do not co
commit
mmit any actions that would make
them removable under immigration law. Permanent resident aliens have the right to work in the
United States at any legal work of their qualification and choosing; except that some jobs are
limited to U.S. citizens for security
ity reasons.
Permanent resident status is granted on a “Permanent Resident Card”, called form I-551.
I
Older
versions of the card include the “Alien Registration Receipt Card” and the “Resident Alien
Card”. A Form I-551
551 may contain no expiration date, a 10 year expiration date, or a two year
expiration date. The most common form you will see is a card that has a 10 year validity
period. Cards with 10 year validity period and those that have no expiration date are issued to
permanent residents with no condi
conditions on their status. Cards with two year validity period are
issued to permanent residents with conditions on their status. Conditional residents can lose their
status if they fail to remove these conditions.
&
Ten year Green Card
Two year Green Card
Permanent Resident Cards should not be re
re-verified,
verified, irrespective of whether they have the
2-year or 10-year
year validity period or no expiration date. An expiration date indicates when
the card expires and must be renewed. It does NOT indicate that the alien’s status has
expired.
I-9
9 Guide for HR Representatives (Rev. 04/18/2011)
3
Sometimes lawful permanent residents and conditional residents may be issued “temporary” I551 documents. For example, a permanent resident may have a stamp in his or her passport
marked: “processed for I-551 temporary evidence of lawful admission for permanent residence,
valid until __________. Employment authorized”. Aliens who enter the United States with an
immigrant visa, may have a temporary I-551 printed notation on a machine readable immigrant
visa. Individuals with temporary I-551 documents are typically granted the permanent resident
card before the temporary evidence of permanent resident status expires. If not, these documents
must be re-verified upon expiration.
I-9 Guide for HR Representatives (Rev. 04/18/2011)
4
T HE N ON - IMMIGRANT V ISA
A non-immigrant visa stamp is a travel document. It permits the alien to apply for admission or
entry to the United States. The nonimmigrant visa does NOT grant employment eligibility. DO
NOT USE the nonimmigrant visa to complete Form I-9.
DO NOT USE THE NONIMMIGRANT VISA TO COMPLETE FORM I-9
I-9 Guide for HR Representatives (Rev. 04/18/2011)
5
H- IB E MPLOYEES
H-1B employees are authorized to work incident to their status. This means that they are not
required to apply for a separate work authorization to be employed. They are authorized to work
only for an employer who has filed an H1B Petition on their behalf. If LSU did not file a petition
for the person, they are not authorized to work at LSU as an H1B.
H-1B employees may present a valid foreign passport, with a valid I-94 to prove that they are
authorized to work in the United States. If the employee traveled to the United States and was
admitted in H-1B status, he or she will have a white card version of the I-94 issued at the port of
entry. Sometimes 10 days grace period is added to the expiration date of the alien’s H1B status,
annotated on the I-94. The grace period is to allow the alien to prepare for departure at the end of
their employment. Employment is not allowed during the grace period. For example, an
employee with H-1B status valid until 8/15/2013 may have an I-94 showing “admitted until
08/25/2013”. To ensure that the correct expiration date is entered on the I-9, you should look at
the alien’s H-1B Notice of Approval (form I-797) to determine whether a 10 day grace period
was or was not added to the alien’s H-1B expiration date, by the port of entry officer. The
Notice of Approval will state “Valid from______to ________.
Note that an immigration officer at a port of entry may match the expiration date of an alien’s I94 to the expiration date of his or her passport, if the passport expires earlier than the H-1B
approval notice. If there is a discrepancy of this nature between the expiration date of the I-94
and the expiration date of the I-797 H-1B approval notice, the expiration date on the I-94
becomes the expiration date of the H-1B status. Do not use the expiration date on the Notice of
Approval as the expiration date of work authorization on the I-9. Using the date on the Approval
Notice could lead to the employee inadvertently staying in the US and working beyond their
expiration date. This could have very serious repercussions. Once it is discovered that the alien’s
I-94 expired, their employment will be terminated and they will be required to leave the United
States immediately. Any valid H-1B visa in their passport will be automatically canceled and
any future visas will have to be obtained in their home country.
I-9 Guide for HR Representatives (Rev. 04/18/2011)
6
I MPORTANT P ARTS OF THE I-94
“Admission” Number
Legal Status in which the
individual is admitted
Date by which individual
must leave. For those
with work permission
inherent in status, last
day of authorized
employment
I-94 front
Employer/ university
sponsoring status would
be annotated here
I-94 back
I-9 Guide for HR Representatives (Rev. 04/18/2011)
7
C HANGE OF S TATUS
If an alien’s application for change of status to H-1B has been approved, but the alien has not
traveled outside of the U.S. they will not have a white card version of the I-94 with an entry
stamp. A new I-94 card (bluish green color) evidencing H-1B status will be attached to the Form
I-797 Notice of Approval. The International Services separates this I-94 from the main
document and gives it to the employee. If the employee presents the I-94 to you to complete or
re-verify form I-9, you must return it to him/her as this is their evidence of legal status in the US.
If we filed an application for change of status and the employee’s current work status
expires before the H-1B is approved, the employee must stop work and wait for the
decision on the pending H-1B petition.
HOW TO COMPLETE AN I-9 (SECTION 2, LIST A BLOCK) FOR AN H-1B EMPLOYEE (ALSO
APPLIES TO E-3, O-1 AND TN EMPLOYEES)
I-9 Guide for HR Representatives (Rev. 04/18/2011)
8
P ORTABILITY OR T RANSFER OF H-1B S TATUS
An employee in valid H-1B status who changes (“ports”) to a new employer may begin working
for the new employer upon the filing of an H-1B petition by the new employer on behalf of the
employee even before the petition for the new employer is approved. If LSU has not filed a
petition for the person, they cannot work at LSU.
A porting H-1B employee may begin employment by presenting his or her Form I-94/I-94A
issued for employment with the previous employer, along with his or her foreign passport. In
Section 1 of Form I-9, under “Alien authorized to work until”, the employee should put “N/A”.
HOW TO COMPLETE AN I-9 (SECTION 2, LIST A BLOCK) FOR PORTABILITY CASES
COMPLETE SECTION 2, LIST A BLOCK WITH:
•
•
•
Unexpired foreign passport
I-94 card showing H-1B status with original employer
Write “AC-21” and record the date that the new H-1B petition was submitted to USCIS
in the margin next to Section 2
Attach the following documents to Form I-9
•
•
•
•
•
Copy of new form I-129 that was filed with USCIS
Copy of check (proof of payment of filing fee)
Evidence of mailing (e.g. courier receipt) (replace it with copy of USCIS receipt notice I797- once received)
Copy of alien employee’s I-94 card
Copy of unexpired foreign passport
I-9 Guide for HR Representatives (Rev. 04/18/2011)
9
E XTENSION OF S TATUS
Employees who file for an extension of their status in a timely manner (before the H-1B
employee’s status expires) may continue to work for an additional 240 days from the expiration
date of their current status, if the extension application remains pending. You must re-verify
Form I-9 on or before the expiration date of the employee’s status.
HOW TO COMPLETE SECTION 3 OF FORM I-9 IN SITUATIONS INVOLVING THE 240-DAY RULE
Complete Section 3 with:
•
•
•
Form I-797 receipt when received
Enter Receipt Number
For expiration date, write 240 Day-Ext. and date that petition was submitted to USCIS
Attach the following documents to Form I-9
•
•
•
Copy of new form I-129 that was filed with USCIS
Copy of check (proof of payment of filing fee)
Evidence of mailing (e.g. courier receipt) (replace it with copy of USCIS receipt notice I797- once received)
Once approved, or by the end of the 240 day period, update Section 3 with the new expiration
date (you may line out, initial and date, or complete a new I-9).
The petition should be adjudicated by the end of the 240 days. If the request for extension is
approved, a new I-94 with a new end date is attached to the approval notice, and overrides the
earlier I-94. If the request for extension is denied after the original expiration date has passed,
they must stop employment immediately upon notice of the denial.
I-9 Guide for HR Representatives (Rev. 04/18/2011)
10
SAMPLE I-94 CARD ISSUED WHEN AN EXTENSION OR CHANGE OF STATUS APPLICATION IS
APPROVED
I-9 Guide for HR Representatives (Rev. 04/18/2011)
11
H-4 D EPENDENTS OF H-1B E MPLOYEES
They are NOT authorized to work in H-4 status.
I-9 Guide for HR Representatives (Rev. 04/18/2011)
12
E XCHANGE V ISITORS (J-1 S CHOLARS )
Exchange visitors (J-1 scholars) are authorized to work incident to their status. This means that
they are not required to apply for a separate work authorization to be employed. They are
authorized to work for a specific employer, the J-1 sponsor. If the J-1 is not an LSU sponsored
scholar, the J-1 must have permission from their program sponsor to work at LSU. The program
sponsor is listed in Box 2 of the DS-2019 form. As long as the J-1’s program is still active as
shown by the end date in Box 3 of the DS-2019 they may work for the program sponsor or
another entity (with authorization).
Form DS-2019 with a valid end date may be presented with a valid I-94 showing J-1 status and a
matching foreign passport in order to establish work authorization for a J-1 Scholar. You should
record in Section 2 (or Section 3, if re-verifying) 1) the exchange visitor’s unexpired foreign
passport number, issuing authority, and passport expiration date; 2) the 11-digit Form I-94/I94A
number and its expiration date (including duration of status, which is indicated on the card as
“D/S”), and 3) the form DS-2019 number (SEVIS number) and expiration date of employment
authorization listed on the Form DS-2019.
HOW TO COMPLETE SECTION 2 (LIST A BLOCK) OF FORM I-9 FOR A J-1 SCHOLAR
SAMPLE I-94 FOR A J-1 SCHOLAR
Attach:
•
•
•
Copy of unexpired passport
Copy of I-94
Copy of DS-2019
I-9 Guide for HR Representatives (Rev. 04/18/2011)
13
I-9 Guide for HR Representatives (Rev. 04/18/2011)
14
J-2 DEPENDENTS OF EXCHANGE VISITORS (J-1 SCHOLARS)
Dependents of J-1 exchange visitors are classified as J-2 non-immigrants and are only authorized
to work if the Department of Homeland Security has issued them an Employment Authorization
Document (EAD), also known as Form I-766. Although referred to as a document or Form, the
EAD is actually a card. A J-2 nonimmigrant’s foreign passport and Form I-94/I-94A are not
evidence of identity and employment authorization for purposes of Form I-9. The EAD (Form I766) has an expiration date printed on the face of the card. The EAD must be re-verified upon
expiration.
SAMPLE EAD
TN E MPLOYEES
Only Canadian and Mexican nationals are eligible for TN status. TNs are authorized to work for
the TN sponsoring employer. The same guidance as in the H-1B section above applies for TNs.
However, portability rules do not apply for TNs. A TN professional who changes employers
must have a TN approved for the new employer in order to start work with the new employer.
It is important to note that Canadians do not need to have a valid visa stamp in their passport to
enter the US in TN status. Therefore, most Canadians extend their TN status by leaving the
United States before their current I-94 expires, and applying for re-entry in TN status. To apply
for entry or re-entry to the United States, they need, among other things, to present a copy of
their job offer letter (or continuation of employment letter) to the admission officer. Thus, a
Canadian may never have a form I-797 Notice of Approval issued by the Department of
Homeland Security, because a TN petition is not required. They are authorized to work for the
employer whose job offer was used to obtain entry, and they may present a valid I-94 and a valid
passport for I-9 purposes.
Mexicans do require a valid visa stamp to enter the United States in TN status. Therefore,
Mexicans will typically opt to file a TN extension petition with the Department of Homeland
Security. Mexicans are authorized to work for the employer whose job offer was used to obtain
a TN visa and entry to the US, or who sponsored the TN petition.
TD D EPENDENTS OF TN S
They are not permitted to work in TD status
I-9 Guide for HR Representatives (Rev. 04/18/2011)
15
E-3 E MPLOYEES
Only Australian nationals are eligible for E-3. E-3 employees are authorized to work incident to
their status. This means that they are not required to apply for a separate work authorization to
be employed. They are authorized to work for a specific employer, who is the petitioner or
sponsor of their E-3 status. For I-9 information regarding E-3s, see the H-1B section above. The
same information applies. However, portability rules do not apply for E-3s. An E-3 professional
who changes employers must have an E-3 approved for the new employer in order to start work
with the new employer. Also, the 240 days rule does not apply. An E-3 employee who files for
an extension of their status in a timely manner (before his/her status expires) may NOT continue
to work for an additional 240 days from the expiration date of their current status, if the
extension application remains pending. If status expires before the extension/amendment of
status application is approved, their employment must be terminated.
E-3 D EPENDENTS OF E-3 P ROFESSIONALS
Dependents of an E-3 non-immigrant are only authorized to work if the Department of
Homeland Security has issued them an Employment Authorization Document (EAD), also
known as Form I-766. Although referred to as a document or Form, the EAD is actually a card.
The EAD (Form I-766) has an expiration date printed on the face of the card. The EAD must be
re-verified upon expiration.
SAMPLE EAD
O-1 P ERSONS OF E XTRAORDINARY A BILITY
O-1s are individuals with extraordinary ability in their fields. They are authorized to work for
the employer who filed their O-1 petition. For I-9 information regarding O-1s, see the H-1B
section above. However, portability rules do not apply for O-1s. An O-1 professional who
changes employers must have an O-1 approved for the new employer in order to start work with
the new employer.
O-3 D EPENDENTS OF O-1
They are not permitted to work in O-3 status
I-9 Guide for HR Representatives (Rev. 04/18/2011)
16
R EFUGEES AND A SYLEES
Refugees and asylees are authorized to work incident to their status. They do not have to apply
for a separate work authorization in order to work. Their Form I-94/I-94A does not have an
expiration date. It normally has a stamp annotated like this: “ ADMITTED INDEFINITELY AS
A REFUGEE PURSUANT TO……..EMPLOYMENT AUTHORIZED” Or, “ASYLUM
STATUS
GRANTED
PURSUANT
TO……..EMPLOYMENT
AUTHORIZED
INDEFINITELY”. Therefore, refugees and asylees should write “N/A” on the line calling for an
expiration date. The employee may present this I-94 with a refugee/asylee stamp as evidence of
work authorization, or any combination of documents from the List of Acceptable Documents.
The I-94/I94A with an unexpired refugee/asylee admission stamp is considered a receipt
establishing both employment authorization and identity for 90 days. In the mean time, the
Department of Homeland Security processes an Employment Authorization Document (EAD)
for the refugee, which he/she may present at the end of the 90 day receipt period. They may,
instead choose to present a document from List B, such as a state issued driver’s license, and a
document from List C, such as an unrestricted Social Security Card.
&
Asylee I-94
Refugee I-94
I-9 Guide for HR Representatives (Rev. 04/18/2011)
17
E MPLOYMENT A UTHORIZATION D OCUMENT
An Employment Authorization Document (EAD) is also referred to as Form I-766. Although
referred to as a document or form, the EAD is actually a card. Eligible foreign nationals may
apply for an EAD with the Department of Homeland Security. Foreign nationals who are
eligible to apply include J-2 dependents of J-1 exchange visitors; E-3 dependents of E-3
professionals; and applicants for adjustment of status to permanent residence.
S AMPLE EAD
The EAD grants employment authorization for a specific period of time, usually up to 2 years.
An alien is not eligible to begin employment with an EAD until the Department of Homeland
Security has approved and issued the EAD to the alien. The EAD (Form I-766) has an expiration
date printed on the face of the card. It is only valid during the validity period of the card.
If an alien is employed at LSU pursuant to an EAD, the EAD must be re-verified upon
expiration. If the EAD expires before the alien receives the new EAD, he or she must stop
working. A receipt notice showing that the employee has applied for renewal of the EAD is not
an acceptable document for employment purposes. An electronic approval notice issued by the
Department of Homeland Security should not be used for work authorization. The employee
must present the actual valid EAD card.
H OW T O C OMPLETE A N I-9 (S ECTION 2, L IST A B LOCK ) F OR I NDIVIDUALS W ITH A N EAD
I-9 Guide for HR Representatives (Rev. 04/18/2011)
18
S OCIAL S ECURITY C ARDS
The Social Security Administration issues specific types of cards to persons depending on their
work authorization. Unrestricted cards are issued to those with permanent or indefinite work
authorization, such as lawful permanent residents, refugees, and asylees. The card lists only the
person’s name and social security number without conditions or other notations.
The second type of card shows the name and social security number and notes, “VALID FOR
WORK ONLY WITH DHS AUTHORIZATION.” This type of card is issued to aliens who
present proof of temporary work authorization, such as aliens on J-1, H-1B, O-1, or E-3 status;
and aliens with an Employment Authorization Card. These social security cards do not satisfy
the Form I-9 requirements.
The third type of card shows the name and social security number and notes, “NOT VALID FOR
EMPLOYMENT.” This type of card is issued to aliens who have a valid non-work need for a
Social security Card but are not authorized to work in the United States; such as H-4 dependents
of H-1B employees. If an alien shows this type of social security card, but claims they are now
authorized to work, they may present other documents that show their authorization. They should
get a replacement social security card without this restriction.
L OST , S TOLEN OR D AMAGED D OCUMENTS
A receipt showing that an employee has requested a replacement of a lost, stolen or damaged
document, which would establish employment authorization if presented, is valid for up to 90
days from the date of hire. During that 90 day period, the employee must present their
replacement document to complete the I-9. If they do not present the replacement document
within 90 days, the receipt expires, and they are no longer authorized to work.
I-9 Guide for HR Representatives (Rev. 04/18/2011)